Is an OSJ’s role strictly compliance-related, or can the OSJ tell me what share class of mutual fund to sell - ie that I will use only C shs because it brings recurring revenue to the business rather than A shs? O that I will only do fee-based business from now on?

Doesn't that violate suitability rules?
(I typically run the FINRA calculator and let the client choose, but 90% of the time they choose A if it's LT $).

[quote=newrookie]Is an OSJ’s role strictly compliance-related, or can the OSJ tell me what share class of mutual fund to sell - ie that I will use only C shs because it brings recurring revenue to the business rather than A shs? O that I will only do fee-based business from now on?

Doesn't that violate suitability rules?
(I typically run the FINRA calculator and let the client choose, but 90% of the time they choose A if it's LT $).[/quote]